DFX Intelligence
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Registered advisor
P••• A••••• S••••
Feed of 09/14/2026
Also filed as P••• A••••• S••••••••• A••••• S••••
At current firm
10 y
since Jan 13, 2016
In the industry
17 y
since Jan 19, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- G•• S••••••••• I••• BD affiliated currentsince Jan 13, 2016 · Palm Beach Gardens, Fl
- P•••• S••••••••• L•• no RAUMMar 27, 2013 to Jan 11, 2016 · Warrington, Pa
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to G•• S••••••••• I•••left Jan 11, 2016, registered Jan 13, 2016 (2 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address